83
On August 12, 2011, the final rules for SEC’s Whistleblower Program became effective. These rules set forth the requirements for whistleblowers to be eligible for awards consideration, the factors that SEC will use to deter- mine the amount of the award, the categories of individuals who are excluded from award consideration, and the cate- gories of individuals who are subject to limitations in award considerations. The final rules strengthen incentives for employees to report the suspected violations internally through internal compliance programs when appropriate, although it does not require an employee to do so in order to qualify for an award.”
Individuals with information about a possible viola- tion of the federal securities laws, including FCPA viola- tions, should submit that information to SEC either online through SEC’s Tips, Complaints, and Referrals (TCR) Intake and Resolution System (available at hteps://dene- bleo.sec.gov/TCRExternal/disclaimer.xhtml) or by mail- ing or faxing a completed Form TCR to the Commission's Office of the Whistleblower.
Whistleblowers can submit information anony- mously. To be considered under SEC’s whistleblower pro- gram as eligible for a reward, however, the information must be submitted on an anonymous whistle blower’s behalf
by an attorney.”
Whether or not a whistleblower reports anonymously, SEC is committed to protecting the identity of a whistleblower to the fullest extent possible under the statute.” SEC’s Office of the Whistleblower administers SEC’s Whistleblower Program and answers questions from the public regarding the program. Additional informa- tion regarding SEC’s Whistleblower Program, including
answers to frequently asked questions, is available online at
hetp://www.sec.gov/whistleblower.
100 F Street NE, Mail Stop 5971 Washington, DC 20549
Facsimile: (703) 813-9322 Online Report Form: http://www.sec.gov/ whistleblower
HOUSE_OVERSIGHT_022585